Equiniti Financial Services Limited

• Principal Place of Business

  Highdown House

  Yeoman Way

  Worthing

  West Sussex

  BN99 3HH

  UNITED KINGDOM

  Phone

  +4403713842059

  Web

  https://www.equiniti.com

• Complaints Contact

  Highdown House

  Yeoman Way

  Worthing

  West Sussex

  BN99 3HH

  UNITED KINGDOM

  Phone

  +4403713842059

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Insurance Admin

  For Commercial, Retail (Non-Investment Insurance), Life Policy, Non-investment insurance contracts

• Trade Settlement Routing

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Security), Share, Unit, Warrant

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Trades With You Directly

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Unable to: (i) hold financial instruments for own account unless it meets the 'matched principal exemption conditions' as defined in the FSA's Glossary of defined expressions used in the FSA's Handbook and (ii) underwrite MiFID financial instruments and/or place MiFID financial instruments on a firm commitment basis

• Investment Setup

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Electronic Trade Settlement

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Suzanne Clarke

  IRN SXC00332

  • [FCA CF] Material risk taker (19 Apr 2023 to 31 Oct 2023)
  • [FCA CF] Significant management (1 Feb 2021 to 29 Nov 2021)
• Tariq Osman Gondal

  IRN TOG01007

  • CF30 Customer (23 Apr 2015 to 31 Mar 2017)
• Thera Roeline Prins

  IRN TRP01054

  • SMF7 Group Entity Senior Manager (10 Jan 2023 to 6 Feb 2026)
  • SMF24 Chief Operations (9 Dec 2019 to 9 Aug 2021)
  • SMF1 Chief Executive (9 Dec 2019 to 6 Aug 2021)
  • SMF3 Executive Director (9 Dec 2019 to 6 Aug 2021)
  • Responsible for Insurance Distribution (1 Oct 2018 to 9 Aug 2021)
  • CF3 Chief Executive (1 Aug 2017 to 8 Dec 2019)
  • CF1 Director (1 Aug 2017 to 8 Dec 2019)
  • Responsible for Insurance Mediation (1 Aug 2017 to 30 Sep 2018)
• Thomas Hannam

  IRN TEH01025

  • [FCA CF] Material risk taker (since 1 Feb 2022)
  • [FCA CF] Manager of certification employee (since 1 Oct 2021)
  • [FCA CF] Client dealing (since 1 Feb 2021)
  • CF30 Customer (28 Jan 2015 to 8 Dec 2019)
• Thomas Mcculloch

  IRN TXM00206

  • [FCA CF] Material risk taker (since 1 Feb 2022)
  • [FCA CF] Client dealing (since 19 Mar 2021)
• Timothy Miller

  IRN TJM01155

  • SMF10 Chair of the Risk Committee (9 Dec 2019 to 30 Nov 2023)
  • SMF12 Chair of the Remuneration Committee (9 Dec 2019 to 30 Nov 2023)
  • SMF14 Senior Independent Director (9 Dec 2019 to 30 Nov 2023)
  • CF2 Non Executive Director (4 Jun 2015 to 8 Dec 2019)
• Toni Jayne Betts

  IRN TJB01208

  • CF28 Systems and controls (1 Mar 2012 to 6 Aug 2014)
  • CF1 Director (1 Mar 2012 to 6 Aug 2014)
• Tony Theobald

  IRN TXT00127

  • [FCA CF] Material risk taker (1 Feb 2022 to 8 Feb 2024)
  • [FCA CF] Significant management (30 Sep 2021 to 6 Dec 2024)
• Victoria Cockerton

  IRN VXC00142

  • [FCA CF] Material risk taker (since 13 Apr 2026)
  • [FCA CF] Significant management (since 8 Feb 2024)
  • [FCA CF] Material risk taker (8 Feb 2024 to 23 May 2025)
• Wayne Andrew Story

  IRN WAS01022

  • CF3 Chief Executive (23 Nov 2009 to 31 Oct 2013)
  • CF1 Director (6 Apr 2009 to 31 Oct 2013)

No changes recorded yet.